Reports and Testimonies - Browse by topic
Internal controls (31 - 40 of 70 items)
Opportunities Exist to Enhance Investor Confidence and Improve Listing Program Oversight
Published: Apr 8, 2004. Publicly Released: May 11, 2004.
Federal Deposit Insurance Corporation Funds' 2003 and 2002 Financial Statements
Published: Feb 13, 2004. Publicly Released: Feb 13, 2004.
A Framework for Strengthening GSE Governance and Oversight
Published: Feb 10, 2004. Publicly Released: Feb 10, 2004.
SEC and CFTC Fines Follow-Up:
Collection Programs Are Improving, but Further Steps Are Warranted
Published: Jul 15, 2003. Publicly Released: Aug 14, 2003.
Securities Investor Protection:
Update on Matters Related to the Securities Investor Protection Corporation
Published: Jul 11, 2003. Publicly Released: Aug 11, 2003.
Financial Statement Restatements:
Trends, Market Impacts, Regulatory Responses, and Remaining Challenges
Published: Oct 4, 2002. Publicly Released: Oct 23, 2002.
More Actions Needed to Improve Oversight of Disgorgement Collections
Published: Jul 12, 2002. Publicly Released: Jul 24, 2002.
Financial Markets and Institutions:
Regulatory Initiatives of the National Association of Insurance Commissioners
Published: Jul 6, 2001. Publicly Released: Aug 6, 2001.
Financial Services Regulators:
Better Information Sharing Could Reduce Fraud
Published: Mar 6, 2001. Publicly Released: Mar 6, 2001.
Trading Volumes and NASD System Limitations Led to Decimal-Trading Delay
Published: Sep 20, 2000. Publicly Released: Oct 24, 2000.